Marketing Compliance Supervisor – Regulatory Review

Associate Staffing LLC; Fort Mill (SC); On-site; USD 90,000 - 130,000; Full time

Job summary

Associate Staffing LLC is seeking a Supervisory Principal to ensure all marketing, advertising, and communications materials comply with industry regulations and firm policies. The role involves reviewing materials for new advisors joining the firm and advising on compliance matters.

The ideal candidate holds FINRA licenses (Series 7 and 24) and has at least two years of direct licensed experience, with strong proficiency in Microsoft Office applications such as Excel, Word, Access, PowerPoint,

Qualifications

• Licenses/Certifications Required: FINRA Series 7, 24 (bonus if you have the 63 or 66)
• Minimum of 2 years of direct licensed experience
• Experience reviewing marketing materials for advisors or an institution is required
• Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio

Responsibilities

• Supervisory Principal role ensures marketing materials comply with regulations and firm policies.
• Review marketing materials for advisors joining and provide compliance guidance.

Tools

Excel

Word

Access

PowerPoint

SharePoint

Visio

Job description

Associate Staffing LLC is seeking a Supervisory Principal to ensure all marketing, advertising, and communications materials comply with industry regulations and firm policies. The role involves reviewing materials for new advisors joining the firm and advising on compliance matters.

The ideal candidate holds FINRA licenses (Series 7 and 24) and has at least two years of direct licensed experience, with strong proficiency in Microsoft Office applications such as Excel, Word, Access, PowerPoint,